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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 2: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 3: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Topic 4: Financial Conduct and Compliance | - Conduct of business standards
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
A) credit to cover the value of purchase
B) securities to the value of purchase
C) credit to cover the value of sale
D) credit to cover the value of any losses
2. The statement in a suitability report giving reasons for the recommendation must also indicate:
A) why the next best product or service was disregarded
B) the extent to which the author is qualified to make this judgement
C) whether or not the client has accepted this guidance
D) the client's ability to bear any risks and losses
3. A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
A) Deposit certificates and medium-term bonds only
B) Commercial papers and deposit certificates only
C) Medium-term bonds, commercial papers and deposit certificates
D) Medium-term bonds and commercial papers only
4. The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
A) An Authority penalty was pending
B) A 30-day notice was not provided
C) It failed to seek permission from the Authority
D) The majority of the board was not present
5. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?
A) United Nations Office on Drugs and Crime
B) World Bank
C) Bank for International Settlements
D) Financial Action Task Force
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: D |







